Certification Process Mechanics

The person or organization that applies to the certifying authority for a design approval (Type Certificate, STC, TSOA, or other approval). The applicant bears the responsibility for demonstrating compliance with all applicable airworthiness requirements and for providing the authority with the data, test results, and analyses necessary to support findings of compliance. The applicant must have the technical capability and resources to complete the certification program.

The government agency or body responsible for evaluating and approving (or rejecting) an applicant's compliance showing and issuing the certification approval. The certifying authority is typically the civil aviation authority of the State of Design. The authority establishes the certification basis, agrees on means of compliance, evaluates compliance data, conducts audits and inspections, makes findings of compliance, and ultimately issues or denies the requested approval.

The group of authority personnel (and designees, where applicable) assigned to manage and execute a specific certification project. The certification team typically includes a project manager (or project officer), technical specialists in relevant disciplines (structures, systems, flight test, propulsion, electrical, software, human factors), and manufacturing inspectors. The team evaluates the applicant's compliance showing, conducts audits and conformity inspections, and makes the findings that support certificate issuance.

The complete set of airworthiness requirements (regulations at specific amendment levels), special conditions, exemptions, and equivalent safety findings that an applicant must comply with to obtain a design approval. The certification basis is established by the certifying authority early in the certification project and is documented formally. For a new TC, the certification basis is determined by the applicable regulations in effect on the date of the TC application, plus any later amendments elected by the applicant or required by the authority.

Additional airworthiness requirements prescribed by the certifying authority when the existing regulations do not contain adequate or appropriate safety standards for a particular design feature, technology, or operational use that is novel or unusual. Special conditions have the same legal force as the regulations themselves and become part of the certification basis for the specific project. They are used when the existing code was not written to address the specific design characteristic or technology being proposed.

A formal authorization granted by the certifying authority that allows an applicant to deviate from a specific regulatory requirement. An exemption relieves the applicant from the obligation to comply with a specific regulation, subject to conditions and limitations that ensure an adequate level of safety is maintained. Exemptions are typically time-limited and must be justified by demonstrating that compliance is impractical or that the exemption does not compromise safety.

A formal determination by the certifying authority that an alternative means of compliance, while not literally meeting the text of a specific airworthiness requirement, provides a level of safety equivalent to that intended by the requirement. An ELOS finding allows the applicant to use compensating factors, design features, or operational limitations that achieve the same safety objective through different means. ELOS findings become part of the certification basis for the specific project.

A formal FAA document used during a certification project to identify, discuss, and resolve specific certification issues between the FAA and the applicant. Issue Papers document the FAA's position on matters such as special conditions, equivalent safety findings, means of compliance, and interpretive questions related to the certification basis. Each Issue Paper includes the issue description, FAA position, applicant response, and the agreed resolution. Issue Papers are the primary mechanism for formal regulatory dialogue in FAA certification projects.

The process of identifying and agreeing with the certifying authority on the specific methods (analysis, test, inspection, demonstration, simulation, or a combination) that will be used to show compliance with each applicable airworthiness requirement in the certification basis. Means of compliance selection is a collaborative process between the applicant and the authority, typically conducted early in the certification project and documented in the certification plan and compliance checklists.

A comprehensive document that lists every applicable regulation in the certification basis and tracks the status of compliance demonstration for each requirement. The compliance checklist (or compliance matrix) identifies for each regulation: the applicability determination, the selected means of compliance, the associated compliance document(s), the status of the compliance finding, and the responsible engineer or organization. It serves as the master tracking tool for the entire compliance demonstration effort.

A program-level document prepared by the applicant and agreed with the certifying authority that describes the overall strategy, schedule, and approach for completing the certification project. The certification plan typically includes a description of the product and proposed changes, the certification basis, the means of compliance for each requirement area, the organizational structure and responsibilities, the schedule and milestones, the data submittal plan, and any known certification risks or issues. It serves as the project roadmap.

Detailed plans prepared for specific technical disciplines or compliance activities within a certification project. Artifact plans describe the approach, methodology, test setups, analysis methods, and expected deliverables for a particular area of compliance demonstration. Examples include flight test plans, structural test plans, systems safety analysis plans, software development plans, lightning protection plans, and bird strike test plans. Each artifact plan is traceable to specific requirements in the compliance checklist.

A certification plan concept used by the FAA that defines the project-specific agreements between the applicant and the FAA certification team regarding the certification approach, level of FAA involvement, compliance methods, data submittals, and project milestones. The PSCP documents the tailored certification process for a specific project, including which compliance activities require direct FAA participation and which may be delegated to designees. It establishes the expectations of both parties for the certification project.

The formal determination by the certifying authority (or an authorized delegate such as a DER, ODA unit member, or DOA compliance verification engineer) that the applicant's type design meets a specific airworthiness requirement. A compliance finding is the outcome of the authority's evaluation of the applicant's compliance data (reports, test results, analyses). Each regulation in the certification basis requires a positive compliance finding before the certificate can be issued. The aggregate of all compliance findings constitutes the authority's basis for issuing the design approval.

The documents prepared by the applicant (or the applicant's suppliers) that present the evidence of compliance with specific airworthiness requirements. Compliance reports summarize the analysis, test, or inspection activities performed, the methodology used, the results obtained, and the conclusion regarding compliance. Test reports document the setup, procedures, results, and conclusions of specific tests. Analysis reports document analytical methods, assumptions, inputs, calculations, and conclusions. These reports constitute the substantiation data that the authority evaluates when making compliance findings.

The two primary categories of physical testing used to demonstrate compliance with airworthiness requirements. Flight tests are conducted with the aircraft in flight and are used to demonstrate performance, flying qualities, stall characteristics, systems functionality in the flight environment, and other characteristics that can only be adequately evaluated in actual flight conditions. Ground tests encompass all testing performed on the ground, including structural static and fatigue testing, systems integration testing, environmental testing, engine tests, and component-level testing. The certification basis determines which requirements may be shown by analysis alone and which require physical testing.

A structured, stage-based framework used by the FAA to define the authority's oversight and involvement at key milestones during a certification project. The SOI framework divides the certification process into defined stages, and at each stage the FAA performs evaluations, audits, or reviews to assess the applicant's progress, the adequacy of processes, and the quality of compliance data. The SOI approach enables the FAA to calibrate its level of involvement based on the applicant's demonstrated capability and the risk profile of the project.

The compliance approaches, analysis methodologies, test procedures, and other methods proposed by the applicant for demonstrating compliance with the certification basis. The applicant has the right to propose the means of compliance, but the authority must agree that the proposed methods are adequate to demonstrate compliance. If the applicant proposes methods that differ from established guidance (such as FAA ACs or EASA AMC), the applicant must provide justification for why the alternative method provides an adequate demonstration of compliance.

The formal submission of compliance documentation, engineering data, test reports, analyses, and other technical information from the applicant to the certifying authority for review, evaluation, and acceptance. Data submittals follow the plan agreed in the certification plan and compliance checklist. Data management encompasses the systems and processes used by both the applicant and the authority to track, control, version, and archive all certification data throughout the project lifecycle. Proper data management ensures traceability and configuration control of the approved type design data.

A condition in which a type design, as-produced article, or operational process does not meet an applicable regulatory requirement, certification basis element, or approved data. In type certification, noncompliance may be discovered during compliance evaluation when analysis or test results fail to demonstrate that a design feature meets a regulatory requirement. Noncompliance must be resolved before the certificate can be issued — either by modifying the design, obtaining a special condition, securing an exemption, or demonstrating equivalent safety.

A departure from a specified requirement, standard, procedure, or specification. In the certification context, a deviation may refer to a departure from the approved type design data (a production deviation), a departure from an agreed means of compliance or test procedure (a certification process deviation), or a departure from a prescribed regulatory requirement (a regulatory deviation). Each type of deviation has different implications and resolution pathways depending on the context and the authority's requirements.

A formal authorization to accept a specific deviation from a requirement without requiring the normal corrective action. In the production context, a waiver allows a manufactured article that does not conform to the approved type design in a specific respect to be accepted for use, provided the deviation has been engineering-evaluated and determined to have no adverse effect on airworthiness. In the regulatory context, a waiver is similar to an exemption and provides relief from a specific operational requirement, typically with compensating conditions or limitations.

The systematic evaluation performed by the applicant to determine the scope and extent of a proposed design change's impact on the type design, the certification basis, and the existing compliance showing. A change impact assessment identifies which areas of the type design are directly changed, which areas are affected by the change (even if not directly modified), which regulatory requirements apply to the changed and affected areas, and whether the existing compliance data remains valid or must be updated. The CIA is the starting point for defining the scope of an STC or TC amendment project.

The practice of leveraging existing compliance data, test results, analyses, and approval findings from a prior certification project to support a new or amended certification project, thereby reducing the scope of new compliance work required. Certification credit may be granted when a new design is sufficiently similar to an already-certified design that the existing compliance evidence remains valid and applicable. The applicant must demonstrate the basis for claiming credit, including the similarity of the designs, the applicability of the prior compliance data, and any differences that require additional substantiation.